Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames E. Millstein is a financial professional with over 20 years of experience in the industry. James is currently registered with Guggenheim Securities, LLC and is also registered in Connecticut and New York. Previously, James held positions with MILLCO ADVISORS, LP, M.J. WHITMAN LLC, and LAZARD FRERES & CO. LLC. James has passed the Series 63, Series 24, SIE, Series 50, and Series 7 exams.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NY
09/14/2018 - Present
Guggenheim Securities, LLC (NEW YORK NY)
NY
02/25/2013 - 12/10/2018
MILLCO ADVISORS, LP (NEW YORK NY)
NY
07/12/2012 - 02/27/2013
M.J. WHITMAN LLC (NEW YORK NY)
NY
01/18/2001 - 06/08/2009
LAZARD FRERES & CO. LLC (NEW YORK NY)
BC
Issued 10/10/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 06/17/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
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